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Registered advisor
S••••• L•••
Feed of 09/14/2026
Also filed as S••••• L•••
At current firm
0 y
since Apr 15, 2026
In the industry
21 y
since Jun 1, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Apr 15, 2026 · Brooklyn, Oh
- L•• E••••••••• L•• BD affiliatedOct 16, 2024 to Oct 2, 2025 · Fort Mill, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jan 16, 2024 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 22, 2009 to Jul 13, 2018 · Covington, Ky
Moves
a registration end followed by a registration begin elsewhere
- L•• E••••••••• L•• to K•• I••••••••• S••••••• L••left Oct 2, 2025, registered Apr 15, 2026 (195 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to L•• E••••••••• L••left Jan 16, 2024, registered Oct 16, 2024 (274 days) · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
Signals
- S••••• L••• left L•• E••••••••• L•• for K•• I••••••••• S••••••• L•• (registered 2026-04-15)Oct 2, 2025 · Advisor changed firm · fact
- S••••• L••• left F••••••• P••••••• A•• W•••••••• A••••••• for L•• E••••••••• L•• (registered 2024-10-16)Jan 16, 2024 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address